Administrative Proceeding File No. 3-20460

Respondents

Ortiz, David P.
Release Date Release Number Other Release Numbers Name of Document
34-103813
  • IA-6914
 Order Pursuant to Section 15(B) of the Securities Exchange Act of 1934 and Section 203(F) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions
34-103149 Order Granting Unopposed Motion to Stay
34-93530
  • IA-5905
 Scheduling Order
34-92674
  • IA-5821
 Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing
Release Date Release Number Other Release Numbers Name of Document
Respondent David P. Ortiz's Answer and Defenses to Order Instituting Administrative Proceedings
Division of Enforcement's Motion for Summary Disposition
Division of Enforcement’s Unopposed Motion for 90-Day Stay
Order Granting Unopposed Motion to Stay
Order Pursuant to Section 15(B) of the Securities Exchange Act of 1934 and Section 203(F) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions

Documents